DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Registered advisor

D••••• S••••• G••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPhoenix, Az dual registrantIAPD 6634920

Feed of 09/14/2026

Also filed as Donald Garduno

At current firm

1 y

since May 2, 2025

In the industry

11 y

since Jan 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 2, 2025 · Fountain Hills, Az
A••••••••• I••• BD affiliated
Apr 11, 2022 to Dec 18, 2024 · Phoenix, Az
E•••••••• A•••••••• L•• national BD
Apr 7, 2021 to Jul 15, 2021 · Scottsdale, Az
T•••••••• I••••••••• M••••••••• I•• asset manager
Nov 29, 2017 to Nov 20, 2018 · Santa Fe, Nm

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 18, 2024, registered May 2, 2025 (135 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to A••••••••• I•••
left Jul 15, 2021, registered Apr 11, 2022 (270 days) · Affiliated broker-dealer or bank to another
T•••••••• I••••••••• M••••••••• I•• to E•••••••• A•••••••• L••
left Nov 20, 2018, registered Apr 7, 2021 (869 days) · Other

Signals

Donald Steven Garduno left Assetmark, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-05-02)
Dec 18, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address